If you to know where fund managers and famous investors are putting their money, we’ve been keeping track of substantial holder buys (and sells).

Trading Places is Stockhead’s recap of the substantial holder movements among ASX small caps over the last fortnight.

Substantial shareholders are those holding 5 per cent or more of a company’s shares — these can be directors, individual investors, or institutional investors.

Shareholders are required to announce to the exchange when they cross above or below the 5 per cent threshold, as well as any change in their holdings while they remain above 5 per cent.


Substantial holder buys

Company Code Market Cap Holder Stake Status
Trigg Mining TMG $12.0M Keren Peteson 5.47% Increasing
Trigg Mining TMG $12.0M Michael Ralston 6.59% Increasing
Next Science NXS $233.8M Walker Group 39.53% Increasing
Damstra Holdings DTC $402.1M Regal Funds Management 7.99% Increasing
Little Green Pharma LGP $44.3M Thorney Opportunities 5.70% Becoming
Blackstone Minerals BSX $121.7M Delphi 12.33% Increasing
Alto Metals AME $39.2M Harvest Lane Asset Management 6.98% Increasing
IVE Group IGL $109.7m Castle Point Funds Management 6.36% Increasing
Uniti Group UWL $659.5M Perennial Value Management 5.10% Becoming
Sunland Group SDG $263.6M Phoenix Portfolios 5.90% Becoming
Opthea OPT $803.6M Baker Bros. Advisors 9.86% Increasing
Energy Action EAX $7.3M Acres Holdings 7.58% Increasing
3P Learning 3PL $173.0M Jencay Capital 5.33% Becoming
Maximus Resources MXR $21.5M Tolga Kumova 8.80% Becoming
Aurelia Metals AMI $458.8M Perennial Value Management 5.01% Becoming
Alliance Aviation AQZ $544.0M Perennial Value Management 10.81% Increasing
McPhersons MCP $273.1M Pendal 5.26% Becoming
DGO Gold DGO $266.7M Regal Funds Management 14.57% Increasing
McPhersons MCP $255.7M Investors Mutual 5.33% Becoming
MacMahon Holdings MAH $528.0M Paradice Investment Management 6.52% Increasing
Pacific Smiles PSQ $299.4M TDM Growth 24.80% Increasing
Reward Minerals RWD $22.8M Michael Ruane 36.62% Increasing
Hotel Property Investments HPI $484.3M Alceon Liquid Strategies 11.70% Increasing
Ardent Leisure ALG $334.4M Fidelity 10.00% Increasing
G8 Education GEM $924.6M Pinnacle Investment Management 5.05% Becoming
QX Resources QXR $11.7M Filmrim 6.55% Becoming
Kip McGrath Education KME $71.8M Regal Funds Management 6.97% Increasing
Dubber DUB $306.0M Regal Funds Management 5.28% Becoming
Vintage Energy VEN $31.9M Regal Funds Management 11.15% Becoming
Aurelia Metals AMI $423.9M Perennial Value Management 6.33% Increasing
Genetic Signatures GSS $284.3M Perennial Value Management 13.48% Increasing
Golden Deeps GED $8.6M 7 Enterprises 7.43% Increasing
Aurelia Metals AMI $423.8M Platypus Asset Management 5.60% Becoming
Battery Minerals BAT $47.5M Aleksandra Bukacheva 8.30% Becoming
Pacific American Holdings PAK $8.5M Warwick Grigor 11.71% Increasing
Ozgrowth OZG $72.1M Acres Holdings 6.09% Becoming
HGL HNG $13.5M Alexander Beard Superfund 6.81% Becoming
Rhinomed RNO $40.6M John McBain 15.11% Increasing
Allegiance Coal AHQ $43.0M Cline Mining 10.19% Becoming
Superior Resources SPQ $22.0M Yarraandoo - Geoffrey Harris 6.83% Increasing
Todd River Resources TRT $16.4M Delphi 5.13% Becoming
Mount Ridley Mines MRD $7.7M Roger & Erica Blake 5.85% Becoming
PYC Therapeutics PYC $483.7M Australian Land - Alan Tribe 30.93% Increasing
Genetic Signatures GSS $282.1M Regal Funds Management 6.98% Becoming
EVZ EVZ $11.1M Thorney Opportunities 19.82% Increasing
Webcentral WCG $18.9M 5GN 54.42% Increasing
Latin Resources LRS $18.1M Jose Luis Manzano 10.00% Becoming
QX Resources QXR $10.7M Zamia Metals 7.49% Becoming
Kazia Therapeutics KZA $99.0M Quest Asset Partners 8.80% Increasing
Infomedia IFM $576.0M Pendal 6.03% Increasing
HGL HNG $16.9M Peter Miller 28.12% Increasing
Kazia Therapeutics KZA $99.0M UniSuper 5.78% Becoming
People Infrastructure PPE $304.3M QVG Capital 6.22% Increasing
Coventry Group CYG $85.5M Viburnum Funds 34.43% Increasing
Cardno CDD $129.0M Viburnum Funds 8.05% Increasing
Credit Clear CCR $212.0M Thorney Opportunities 7.89% Becoming
Emerge Gaming EM1 $82.5M LTL Capital 6.51% Increasing
Stemcell United SCU $10.3M Jimmy Thomas 5.23% Increasing
United Malt Group UMG $1.2B Platypus Asset Management 5.41% Becoming
Micro-X MX1 $66.1M Perennial Value Management 11.16% Increasing
Emeco Holdings EHL $410.7M Perennial Value Management 5.04% Becoming
BSA BSA $125.6M Naos Asset Management 28.05% Increasing
Life360 360 $585.8M Paradice Investment Management 6.08% Increasing
Anatara Lifsciences ANR $10.9M Thorney Opportunities 9.28% Increasing
Village Roadshow VRL $435.5M Spheria Asset Management 7.80% Increasing
Jayride JAY $18.6M Thorney Opportunities 12.70% Increasing
State Gas GAS $92.6M Triangle Energy 27.67% Increasing
Alto Metals AME $42.9M Middle Island Resources 9.99% Becoming
Alto Metals AME $42.9M GS Group 10.22% Becoming
Splitit SPT $608.5M Alon Feit 7.65% Increasing
Hot Chili HCH $120.8M Taurus SM Holdings 8.70% Increasing
Prospect Resources PSC $36.5M Lord of Seven Hills 9.75% Increasing
Benjamin Hornigold BHD $5.9M Dawney & Co 8.19% Increasing
GBM Resources GBZ $60.1M Kok Yong Lim 6.50% Becoming
Tinybeans TNY $59.3M John McBain 9.10% Increasing
Terrain Minerals TMX $8.7M Gerard Toscan 5.40% Becoming
Powerhouse Ventures PVL $4.7M Reilly Family Super Fund 5.50% Becoming
Emu EMU $20.9M Avenger Projects 5.65% Becoming
Collaborate CL8 $11.3M Willoughby Capital Trust 25.39% Increasing
City Chic Collective CCX $599.3M Australian Super 5.53% Becoming
Jervois Mining JRV $216.2M Australian Super 11.36% Increasing
Astro Resources ARO $11.6M HPG Urban Development Holdings 19.99% Becoming
Life360 360 $559.0M Regal Funds Management 9.74% Increasing
RMA Global RMY $129.4M Merchant Funds Management 6.00% Becoming
Emeco Holdings EHL $411.8M Vinva Investment Management 5.00% Becoming
Tempo Australia TPP $19.9M Westoz Funds Management 5.13% Becoming
Proteomics International PIQ $51.9M Richard Lipscombe 18.16% Increasing
Urbanise.com UBN $65.8M Ryder Capital 5.90% Becoming
Collaborate CL8 $11.3M SG Fleet 19.60% Increasing
ImexHS IME $46.0M Perennial Value Management 7.95% Becoming
Dragontail Systems DTS $35.7M Goudy Park MAnagement 12.28% Becoming
Kazia Therapeutics KZA $98.4M Willoughby Capital Trust 16.10% Increasing
Astro Resources ARO $14.5M Mining Investments, Gun Capital Management 13.73% Becoming
Wordpress Table Plugin

One regular name in Trading Places is Thorney (ASX:TEK) which is the investment vehicle of Alex Waislitz.

Waislitz is a well known investor, being in the game for nearly 30 years. He is also vice president of Collingwood Football Club and was married to and Heloise Pratt – the daughter of Visy founder Richard.

Thorney’s three substantial holder moves in the last fortnight were into diarrhoea fighter Anatara Lifesciences (ASX:ANR), airport transfer market place Jayride (ASX:JAY) and WA cannabis play Little Green Pharma (ASX:LGP).

Resources investor Tolga Kumova took an 8.8 per cent stake in Maximus Resources (ASX:MXR) for a flat $1m sum. Maximus is focused on the WA gold fields with a project very close to Ramelius Resources (ASX:RMS) Wattle Dam project.

Biotech Opthea (ASX:OPT) saw New York investment firm Baker Brothers up its stake to 9.86 per cent as it eyes a listing on the American bourse.

Speaking of the States, one US firm that’s come out here – child tracking app Life360 (ASX:360) – received investments from Regal Funds Management and Perennial Value Management. The pair own approximately 15 per cent between them.

Perennial also upped its holdings in mobile X-ray maker Micro-X (ASX:MX1) and Emeco Holdings (ASX:EHL) – both of which are having solid year.

For Micro-X shareholders, 2020 will be undoubtadly be best remembered for winning FDA approval in July but earlier this week it won a contract to from the Department of Homeland Security to conceive a better airport security screening solution.

Emeco meanwhile has thrived off 2020’s gold exploration boom.

Buys from AustralianSuper included into plus-size fashion retailer City Chic Collective (ASX:CCX) and Uganda-focused copper and gold explorer Jervois Mining (ASX:JRV).



Company Code Market Cap Holder Current Stake Status
Dampier Gold DAU $18.2M Vango Mining <5% Ceasing
Damstra Holdings DTC $391.8M AustralianSuper <5% Ceasing
Pharmaxis PXS $34.9M Arix Bioscience 8.90% Decreasing
HRL Holdings HRL $59.3M Kinglsey Investment Trust 6.39% Decreasing
iSelect ISU $77.6M Renaissance Smaller Companies 8.39% Decreasing
Arrow Minerals AMD $8.0M Capital Di 5.62% Decreasing
Aussie Broadband ABB $361.7M Regal Funds Management 10.33% Decreasing
Hotel Property Investments HPI $484.3M L1 Capital <5% Ceasing
Cirrus Networks CNW $24.8M Milner Investment Trust <5% Ceasing
Redbubble RBL $1.3B Martin Hosking 9.76% Decreasing
DGO Gold DGO $248.7M Regal Funds Management 13.33% Decreasing
MyFiziq MYQ $125.1M The Rain Maker 9.53% Decreasing
Shaver Shop SSG $132.8M Microequities Asset Management <5% Ceasing
Piedmont Lithium PLL $444.1M AustralianSuper 7.58% Decreasing
Citadel Group CGL $440.8M Microequities Asset Management <5% Ceasing
Southern Cross Media SXL $449.2M Challenger <5% Ceasing
Baby Bunting BBN $550.6M AustralianSuper 11.50% Decreasing
Cardno CDD $124.5M Invesco 8.75% Decreasing
Think Childcare TNK $62.0M Regal Funds Management 8.03% Decreasing
Lithium Power LPI $48.7M Regal Funds Management 10.32% Decreasing
Medadvisor MDR $96.7M Regal Funds Management 6.22% Decreasing
Identitii ID8 $15.3M Kenneth Baker <5% Ceasing
FYI Resources FYI $37.6M Regal Funds Management 8.99% Decreasing
Cardno CDD $129.0M Invesco <5% Ceasing
Emperor Energy EMP $3.3M Australian Special Opportunity Fund 6.74% Decreasing
NSX NSX $36.0M Exchange Technology Investments 5.05% Decreasing
Aus Tin Mining ANW $6.7M Karl Hamann <5% Ceasing
Laserbond LBL $61.7M Greg Hooper <5% Ceasing
Intega ITG $118.0M Invesco <5% Ceasing
Pharmaxis PXS $41.7M Arix Bioscience <5% Ceasing
Kogi Iron KFE $17.1M Noble Investments 5.31% Decreasing
Wordpress Table Plugin

British biotech giant sold out of small cap Pharmaxis (ASX:PXS) after just over two years of owning shares.

While much of that time was tough for Pharmaxis’ shareholders, it finally got good news on Monday as the FDA approved its cystic fibrosis treatment.